Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, HSIAO WEN
Chinese Name of Relevant Individual
劉筱文
HKMA Registration Number
AI1266
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
06 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
CORPORATE AND INSTITUTIONAL BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BNP PARIBAS
SFC CE number
AAF564
Business Address
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 06 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Sep 2022 - 14 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Apr 2019 - 27 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Apr 2019 - 27 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
03 Apr 2019 - 27 Sep 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
LIU, HSIAO WEN
:
Chinese Name of Relevant Individual
劉筱文
:
HKMA Registration Number
AI1266
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BNP PARIBAS
Type 6: advising on corporate finance
06 Sep 2022
No
CORPORATE AND INSTITUTIONAL BANKING
Name of Registered Institution
SFC CE number
Business Address
BNP PARIBAS
AAF564
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI1266
BNP PARIBAS
Type 6: advising on corporate finance
Since 06 Sep 2022
No
AI1266
BNP PARIBAS
Type 1: dealing in securities
06 Sep 2022 - 14 Feb 2023
No
AI1266
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 1: dealing in securities
03 Apr 2019 - 27 Sep 2019
No
AI1266
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 4: advising on securities
03 Apr 2019 - 27 Sep 2019
No
AI1266
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 6: advising on corporate finance
03 Apr 2019 - 27 Sep 2019
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.